Tara Brooks

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2012-09-07

PA RA
APPROVED

Since 2012-09-07

Branch Locations

1200 Harbor Boulevard, Weehawken, NJ 07086 • UNITED STATES

Malvern, PA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc.	Weehawken	NJ	06/2006	Present

06/2006 → Present

Ubs Financial Services Inc.

Weehawken, NJ

Other Businesses

1)OLD & OUTTA SHAPE PRODUCTIONS INC. / TV PRODUCTION / 10 ELK DR MALVERN, PA 19355 / VICE PRESIDENT / START DATE 11/01/2005 / 12 HOURS PER MONTH. 2)HTTP://EASTWHITELAND.PATCH.COM/ / ONLINE NEWSPAPER / 584 BROADWAY NEW YORK, NY 10012 / MEMBER OF THE MOM'S COUNCIL / START DATE 03/02/2011 / WILL THE ACTIVITY/BUSINESS INVOLVE SECURITIES TRADING, INVESTMENT, OR ADVICE? NO / 1 HR PER MONTH.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-06-24
S63	Uniform Securities Agent State Law Examination	1996-05-24

S65 Uniform Investment Adviser Law Examination

1996-06-24
S63 Uniform Securities Agent State Law Examination

1996-05-24

Other Names

Tara Mcdaniel
Tara Brooks
Tara Caroline Mcdaniel

View on SEC IAPD